A focus on the spirit rather than the letter of the law should ensure regulatory requirements are met as a side-effect of following processes designed for other purposes, argues Greg Davies
The spirit of financial advisory regulations is clear: to protect clients from bad investments, from unscrupulous salesmen, and from themselves. They aim to increase a client's comfort and confidence with...
‘Launched at very relevant time’
Canada Life Investments
Do I escape the status quo effect?
'Unenviable task for advisers'
Net sales of approximately £12.2bn in Q2
Targeting HNW estates
Rishi Sunak to address House of Commons
Dunstan Thomas report
Meetings with senior and junior staff